query data net valuation of the Fund Jijin file
bond rating of a collection of private equity finance broker net
Select base Ji Jin Chi Fund Selector Fund Investment Evaluation
< p> quality funds recommended weekly Monthly Report
positions Awkwardness of Fund
social security position QFII positions
convenient service fund fund fund code inquiry hotline offers rates
emerging fund draws bonus fund sales inquiries on the information split information
SDIC currency B (128011) units per million income (dollars): 0.6374 last seven income conversion rate% annual return on assets: 2.081 net Date :2011-03-17
UBS SDIC Money Market Fund prospectus
(2011 年 3 Updated November)
Fund Manager: UBS SDIC Fund Management Co., Ltd.
Fund Custodian: Bank of China Ltd UBS SDIC
money market fund prospectuses (March 2011 update)
【Important】 UBS SDIC
Money Market Fund (the SFC permits
18 [2008] No. 1423 approved the raise. The Fund Fund contract on January 19, 2009
came into effect.
fund managers to ensure that the contents of the prospectus is true, accurate and complete. In this prospectus by the
approved by the CSRC, China Securities Regulatory Commission approved the fund raising, does not mean that the impact on the value of the Fund and proceeds to make substantive judgments
or guarantee that investment in the Fund is not without risk.
investment risk, investor subscription (or subscription) fund shares should be carefully read this prospectus,
comprehensive understanding of the risk-return characteristics of fund products, investors should fully consider their risk tolerance,
and subscription (or subscription) Fund will, timing, number of acts such as independent investment decisions. Fund,
managers remind investors of the Fund's investments,
fund operator status and changes in fund net investment risk caused by the investors themselves.
the Fund for money market funds, securities investment funds are highly liquid, low-risk species, and its
expected return and risk are lower than bond funds, hybrid funds and stock funds. The fund invests in stock
money market instruments, including cash, call deposits, short-term financing bills, 1 year or less (including 1 year) bank fixed
deposits, certificates of deposit, bond repurchase, and the remaining term of central bank bills in 397 days (including 397
days) of the bonds and asset-backed securities.
investors to buy money market funds is not equivalent to the funds placed on deposit in a bank or other deposit
models financial institutions, fund managers and other funds of the past performance does not constitute a statement of the fund performance
is guaranteed. Fund managers are committed to fulfill their duties, good faith, diligence and application of the principles of management
fund assets, but does not guarantee that the fund a profit, does not guarantee a minimum income.
information contained in this prospectus deadline for January 19, 2011, in which the investment portfolio, and The deadline for fund performance
December 31, 2010. Relevant financial data are unaudited.
custodian of the Fund in Industrial and Commercial Bank of China February 18, 2011 Description of the recruitment
Books (March 2011 update) was checked.
CONTENTS
I. Introduction ............................................ .................. 1
Second, the definition of ............................................ .................. 2
Third, fund managers .......................................... .............. 7
by the Fund Trustee .......................................... ............. 18
five related services .......................................... ........... 23
VI classification of fund shares ........................................ ........... 48
July, raising funds and 50
August, the fund share purchase, redemption and other registered business ........................... 51
September, the Fund's investment .......................................... ............. 60
ten, the Fund's financing, margin ....................................... .......... 71
XI, the Fund's performance ......................................... ............ 72
second, the Fund's assets ......................................... ............ 74
XIII valuation of fund assets ........................................ ........... 76
fourth, the Fund's income and distribution ....................................... ........ 80
fifth, the Fund's fees and taxes ....................................... ........ 82
sixteen, the Fund's accounting and auditing ....................................... ........ 85
seventh, the Fund's disclosure ........................................ ......... 86
eighteen, the Fund's risk disclosure ........................................ ......... 92
nineteenth, the fund contract changes, termination and liquidation of fund assets ........................... 94
twenty, a summary of the contract funds ....................................... ...... 97
the twenty-first, the Fund Custody Agreement Summary ..................................... .121
XXII, the holders of fund shares services .................................... .. 134
xxiii, other disclosures ....................................... ....... 136
round, storage and access methods prospectus .................................... 137
XXV, reference documents ......................................... ........... 138 UBS SDIC
money market fund prospectuses (March 2011 update)
1
I. Introduction
People's Republic of Securities Investment Fund Law
selling approach
described in this prospectus UBS SDIC money market fund's investment objectives, strategies, risks, rates, etc.
with investors all the necessary investment decisions on matters before making investment decisions investors should carefully read this trick
raised instructions.
commitment to the fund manager of the prospectus does not contain any false, misleading statements or material omissions,
and its authenticity, accuracy and completeness of legal liability.
the Fund under the information set forth in this prospectus apply to raise. The prospectus from the UBS SDIC Fund
Management Limited explanation. The fund managers do not delegate or authorize any other person that is not in the recruitment of
information contained in the book, or any explanation of this prospectus or instructions.
the basis of this prospectus,
fund contract agreed between the parties rights and obligations of the legal documents. Investors from the under the
gold share holders fund shares become
itself that its
other relevant provisions of the rights and obligations, investors more information about the fund share holders of the rights and obligations
should be more access to UBS SDIC
money market fund prospectuses (March 2011 update)
2
II Interpretation
this prospectus, unless the context otherwise requires, the following terms have the following meanings:
Fund or the Fund refers to the basis of
amendments and supplements to any effective
means the People's Republic of China (only the
Hong Kong Special Administrative Region, Macao Special Administrative Region and Taiwan region)
that China is now the effective laws and regulations and promulgated laws, administrative regulations,mac brushes, departmental
regulations and regulatory documents
element refers to the lawful currency of Renminbi yuan
its updated prospectus refers to
disclosure of the Fund's fund manager and fund custodian, the relevant service unit
agencies, fund raising, fund the contract into effect, the fund share transactions
subscription and redemption of fund shares, the Fund's investment, the Fund's performance,
fund assets, the valuation of fund assets, the Fund income and distribution, based
payment fees and taxes, the Fund's information disclosure, risk disclosure, funds
termination of the contract and fund liquidation of assets, the fund summary of the contract,
summary of the Fund trust agreement, holders of fund units of service,
other disclosures, the prospectus of the storage and access methods, equipment
investigation files of information concerning the Fund, for fund investors choice and decision
be whether to fund applications for subscription or purchase, solicitation of an offer document, and
its regular update
Escrow Agreement means the fund manager and fund trustee signed the UBS SDIC
money market fund prospectuses (March 2011 update)
3
market fund trust agreement
Offer Notice refers to
then
means the China Securities Regulatory Commission China Securities Regulatory Commission
banking regulators refer to the China Banking Regulatory Commission or other authorized by the State Council
institutions
fund managers that UBS SDIC Fund Management Co., Ltd.
UBS Global AM that UBS Global Asset Management
fund custodian means the Industrial and Commercial Bank of China
fund share holders means the
share investors
fund distribution agencies means
made fund distribution business qualification, and signed a fund with the fund managers sell
sales agency agreement with the service, to handle the sale of the Fund, purchase, redemption
back and other funds the agency business
sales organizations that fund managers and fund distribution agencies
fund sales outlets that direct sales outlets of fund managers and fund affiliate network affiliate organizations
registered business that fund registration, depository, clearing and settlement business, which specifically includes
investors fund account management, fund share registration, clearing and base
payment confirmations, pay dividends to establish and keep the fund share holders
roster
fund registration institutions that UBS SDIC Fund Management Limited or its delegate shall comply with the other
pieces of business for fund registration institutions
and obligations of legal subjects, including fund managers, fund custodian
and fund share holders
individual investors means the conditions prescribed by the laws and regulations can invest in open-end securities investment UBS SDIC
money market fund prospectuses (March 2011 update)
4
funds of natural persons
institutional investors that can invest in line with laws and regulations of open-end securities investment funds
legally registered in China, and existing or established by the relevant departments for approval
established and existing investors, the cause of corporate and social groups, and other
Organization
means a qualified foreign institutional investors
and relevant laws and regulations to invest in China raised legitimate
securities investment funds outside of China's fund management institutions, insurance companies,
securities companies and other assets management institutions
investors that individual investors, institutional investors and qualified foreign institutional investors and
laws and regulations or the CSRC allowed to buy open-end securities investment fund Other investors in the general
the effective date of the fund raising fund to contract law and the
fund managers to employ statutory capital verification and complete records of the fund for hand
continue to obtain written confirmation from the date of the CSRC
raised the index from the date of sale of fund shares no more than 3-month period
Funds of the renewal refers to the
day / day of that calendar day
month means calendar month
days refers to the Shanghai Stock Exchange and Shenzhen Stock Exchange trading day of normal
open day for sales organizations that share the fund purchase and redemption of the work of business
Day
T date on which the purchase, redemption or other funds for the filing date of the business
T + n T from the date of the date on which the first n days (not including the T day)
subscription period that investors in the fund raising fund to buy shares of the Fund's line
as
sale means the fund raising period, the sales organization selling the fund to investors the behavior of fund shares
UBS SDIC
money market fund prospectuses (March 2011 update)
5
that fund investors purchase fund sales outlets under the provisions of the procedures, to the Fund
managers to buy fund shares behavior. The Fund's daily purchase from the
gold contract
redemption fund investors fund sales outlets under the provisions of the procedures, to the Fund
managers to sell fund shares behavior. The Fund's daily redemption from
gold contract
huge redemption in a single opening date, the fund's net redemptions of fund shares applications (redemption
total number of applications with fund switching back to the application for transfer after deducting the share of the total number of
purchase and fund switching in the total number of applications into the total number of shares after the application of more than
amount) on a Japan fund over 10% of the total share of the case
fund accounts that fund registration institutions opened to investors, investors used to record
hold fund managers managed open-end fund share accounts of the situation
refers to the sales organization trading account opened for investors investors through the sale of records
agencies Making fund of funds arising from transactions and balances of the situation changes in the share of
account status
custody transfer of the investors to hold under the same fund account from one fund shares
a trading account trading account into another business
Fund Switching refers to the investors to apply to the fund managers will be held by the Fund,
managers manage any open-end fund (a fund transfer) all or part of
sub-fund shares, fund managers into the management of any other open
Fund (transferred to the Fund) is the behavior of fund shares
regular fixed investment plans of the investors through the sales organization to apply the agreed charge per issue
day, charge amount and the deduction method, the sales agency agreement in each button
investors money at the designated bank account automatically charge and fund applications
an investment share of applications
sales service fee means the fund for continued sales and service fees fund share holders
use, the extra cost is deducted from fund assets, belonging to the Fund's operating expenses
with UBS SDIC
money market fund prospectuses (March 2011 update)
6
fund share class of fund shares of the Fund is divided into two levels: A class of fund shares and B class Jijin were
amount. Divided into two different funds fund share code, receive different
sales service fee and the Fund were announced net income per million and 7 years of
yield
A class of fund shares means the annual rate of 0.25% sales service fee provision level of fund shares
B-class fund shares means the 0.01% rate of provision for sales of shares in the fund rating service charges
amortized cost valuation method that shows the object to the cost of buying, according to the agreed interest rate or coupon rate
and consider when buying premium and discount, in accordance with its remaining term
accrued daily gain effective interest method Net income per million Jijin
means calculated in accordance with relevant laws and regulations of every million copies of the Fund at net
7 Day Year of the rate of return refers to the last 7 days (including holidays) the commuted annual income return on assets
income of the Fund of Funds investment income bonds, notes, investment income, trading cards
coupon post, bank deposit interest and other income and financial application of the Fund
bring production costs or cost savings
fund assets means the funds which the value of various securities and bills, bank deposits of principal and interest
and subscription receivable of the Fund and other investment models Jijin the price formation the sum of
net assets of the Fund means the total assets of the Fund's net assets after deducting the value of liabilities
fund assets valuation assessment refers to the value of the Fund's assets and liabilities to determine the Fund's assets
the process of the net
designated media refers to the China Securities Regulatory Commission to disclose the information specified in the newspapers and the Internet
Web Sites Force majeure means the parties to the contract funds
unforeseeable, unavoidable and insurmountable
objective events UBS SDIC
money market fund prospectuses (March 2011 update)
7
Third, fund managers
(a) of the fund manager profiles
Name: UBS SDIC Fund Management Co., Ltd.
English name: UBS SDIC FUND MANAGEMENT CO., LTD
Address: Jin Tian Road, Futian District, Shenzhen 4028 trade center, Wing Super 46 level
Office Address: Jin Tian Road, Futian District, Shenzhen 4028 trade center, Wing Super 46 level
Legal Representative: Meng Qian
set up date: June 13, 2002
approved the establishment of institutions: China Securities Regulatory Commission
approved the establishment of the text: China Securities Regulatory Commission Securities Regulatory Commission Fund words 【2002】 25
organizational form: Limited Liability Company
Registered capital: RMB One
survival period: Continuing operations
Contact: Young Man, Chao
Tel: (0755) 83575992,83575994
Fax: (0755) 82904048
Ownership Structure: Name of shareholder stake
51% SDIC Trust Co., Ltd.
Swiss Bank Corporation (UBS AG) 49%
Total 100%
(b) Key Personnel
1, members of the Board
Mr. Qian Meng, Chairman, Chinese, MA, is currently vice president of the State Development Investment Corporation, National Investment Trust
Company Limited. He was general manager of China Investment Asset Management, Anhui Province, deputy secretary of Luan City, Industrial
fund management company director, assistant president of the State Development Investment Corporation, general manager of financial investment, operation of the Vice UBS SDIC
money market fund prospectuses (March 2011 update)
8
Ren, Director, National speculative Light Co., Ltd. business manager, deputy general manager of the State Development Investment Corporation Electrical and textile industry
Division Business Manager, National Electrical and Mechanical Engineers Textile Investment Corporation, Deputy Commissioner, State Planning Commission cadres, Director of Division
members.
Mr. Ling Xinyuan, director, Chinese, master, senior economist. Current Swiss Bank (Hong Kong) International
Asset Management Managing Director, Chairman of China. He was chairman of Huaxia Fund Management Co., Ltd., Beijing
Securities Company Ltd., China Securities Co., Ltd., executive vice president, president of China Iron and Steel Industry & Trade Group
assistant, assistant president of China Metallurgical Import and Export Corporation, Beijing International Trust and Investment Corporation, vice president of operations.
Miss Wang Bin, director, Chinese, master, senior economist. National Investment Trust Limited Board of Directors currently
secretary. Served as UBS SDIC Fund Management Co., Ltd. Vice President and Secretary of the Board, the National Investment Trust Limited
Secretary of the Board and Chief Manager of Asset Management, Beijing International Power Development & Investment Company, Beijing Jingneng Thermal Power Company of
Limited Secretary of the Board.
Mr. Dong Richeng, Director, Hong Kong nationals, the United Kingdom sheffield university degree, the current UBS Global Information
asset management company managing director for China. UBS Global Asset Management Company served as district sales manager in China, the implementation of
Director, UBS Global Asset Management hedge fund chief operating officer of Asia Pacific, UBS Global Asset Management Taiwan General
management, the Hong Kong head of UBS Wealth Management, UBS SDIC Fund Management Co., Ltd. on behalf of the General Manager and Chief Operating
transport officer, Merrill Lynch Investment Managers, Asia Pacific Chief Operating Officer, American International Group, the financial and the Asia Pacific region
operational areas such as the number of key positions.
Mr. Li Ziyi, independent director, U.S. citizen, MBA, retired. Former Dun & Bradstreet Consulting
(Shanghai) Co., Ltd. General Manager,mac makeup, U.S. Sales and Marketing Director of Motorola, the U.S. high-Visa International
-level managers, chief representative in China, project director.
Mr. Cui Liguo, independent director, Chinese, LL.M., is currently in Beijing Guantao Law Firm Management
Commission, the Law, he served as the All China Lawyers Association, Committee on Financial Securities, Financial Street Chamber of Commerce
executive director and Deputy Secretary General, respectively, serve as APT Satellite Holdings Limited, National Investment Company Limited shares in the new set of energy
Division, Nuclear Science and Technology Industrial Co., Ltd. valve is the Soviet Union, China Nuclear International Limited and the shares of a limited four-dimensional map of new technology
independent directors.
Mr. Li Zheping, independent director, Chinese, Master of Finance, the incumbent general manager of the contemporary magazine financiers,
independent directors of CITIC Bank. Letter asset evaluation system was chairman, chief editor of China Securities theory, China
financial training center assistant. UBS SDIC
money market fund prospectuses (March 2011 update)
9
2, Supervisory Board members
Mr. Ye Jinhua, Supervisory Board, China Hong Kong nationals, Australia University of Technology, Bachelor
Western Australia, now UBS Global Asset Management, Asia Pacific Chief Financial Officer, Managing Director
management. UBS Global Asset Management served as Executive Director of the Ministry of Finance, Chief Financial Officer, and worked in Hong Kong-based Hang Seng Bank and Bank
Bank and other institutions holding important positions.
Show Fei, supervisors, Chinese, Master, now SDIC Trust Asset Management Trust Investment Co., Ltd.
manager. Former State Development and Investment Department of a company's strategic development assistant project manager, the National Investment Trust Co. Ltd.
REIT Asset Trust Asset Management Operations and the Department of two project managers.
Miss Huang Zhenjiu, supervisors, Chinese, master's, economists, the current director of the Company to monitor the Internal Audit Department. Had
he became financial secretary to the Board and Fund Management Company Ltd. to monitor the Internal Audit Department Director, Hebei Securities Co., Ltd. Shenzhen
vice president of business Shenzhen, China Travel Trust & Investment Co., Ltd general manager of the Shenzhen securities business, Liaoning, China Construction Bank
Province Trust and Investment Corporation Deputy General Manager of Shenzhen securities business departments.
3, senior management and the Inspector General
Shang Jian, General Manager, Chinese, Finance at the University of Connecticut Dr. China Securities Regulatory Commission was
Fund Department, Deputy Director, Shanghai Stock Exchange, Deputy Director of Development Strategy Committee, Hua An Fund Management Co., Ltd. Vice
general manager, Yinhua Fund Management Company Limited.
Mr. Liu Chunliang, Vice President, Chinese, Bachelor of Economics, Chinese Institute of CPAs and the Chartered
Certified Accountants (ACCA) members. Beijing Construction Engineering Group Corporation, a former accountant, Bode Hao (BDO) Kwan Wong Tan
side international accounting firm of Accountants, the China Securities Regulatory Commission inspectors Boshi Fund Management Co., Ltd.
monitor the person in charge of Legal Department, Inspector General.
Mr. Sheng Bin,vibram 5 fingers, Deputy General Manager, Chinese, Columbia University, Master of International Relations. Has 任国信 Securities and investment banking Beijing
project leader, Vanguard Funds Management Limited Financial Engineering Director, Assistant General Manager
chief marketing officer.
Road, Mr. Bo, Deputy General Manager, Chinese, bachelor, accountant. China Communications, a former Beijing Development Corporation
financial center accounting in charge of accounting, investment and construction of the National Industrial Company projects the Ministry of Development, Trade,blackhawks jerseys, Finance Department Business
service charge and accounting charge, the State Development and Investment Company Capital Division Finance Department business executives, the National Investment Trust Co.
Corporate Finance, Asset Management, General Management Department.
package Aili President, Inspector General, Chinese, MA Columbia University. BlackRock Asset Management was UBS SDIC
money market fund prospectuses (March 2011 update)
10
Co. Asset Management Accounts Department, Ministry of mutual funds, business executives, strategic development Yinhua Fund Management Co., Ltd.
Director.
4, the Fund Manager
Mr. Han Haiping, deputy director of fixed-income group (presiding), Chinese, by the University of Science and Technology
Master of Economics, management science and computer science and technology dual degree, 8 years of securities experience. U.S. investment management
Management Research Association (CFA Institute) and the Global Association of Risk Professionals (GARP) member, is a Chartered Financial Analyst
(CFA) and Financial Risk Manager (FRM) qualification, a former Department of China Merchants Fund Fund Management the number of analysts, 2007
joined the company in May, in the fixed income research and investment work, November 1, 2007 to 2008 3
Rongxin 28 securities investment funds of any fund manager, 3 April 2008 he was appointed by the steady increase in profits Fund Fund
management, January 19, 2009 he was appointed fund manager of the Fund.
5, Investment Committee member names and positions
(1) Investment Committee Chairman: Mr. Shang Jian, General Manager
(2) Investment Committee Members:
① Mr. Yuan Ye: Fund Investment Director, Fund Manager
② Mr. Xu Weizhe: Deputy Director of the Department of fund investors, fund managers
③ Mr. Han Haiping: Associate Director of fixed income group, fund managers
④ Mr. Liu Xinyong: Assistant General Manager and Director of investment accounts, investment managers
⑤ Mr. Chen Xiangkai: Deputy Director of Investment accounts, investment managers
⑥ Mr. Deng Yuehui: Deputy Director of Investment accounts, investment managers
(3) the company inspector to attend Investment Committee meetings.
6, the staff does not exist between near relatives.
(c) the fund manager's duties
1, according to the law to raise funds for or commissioned by the China Securities Regulatory Commission certified copies of other agencies to handle funds
amount of sale, purchase, redemption and registration;
2, fund records;
3, on different funds managed by the property separately managed account, investment in securities;
4, in accordance with the
distribution of income share holders of gold; UBS SDIC
money market fund prospectuses (March 2011 update)
11
5, the fund accounting and fund financial accounting report preparation;
6, the preparation of quarterly, half yearly and annual fund reports;
7, calculated and announced by the relevant provisions of the net assets of the Fund to determine the fund shares purchase and redemption prices;
8, for the property management business with the fund of information related disclosures;
9, proposed the convening of the fund share holders and to convene the General Assembly;
10, save the fund management business activities, property records, account books, statements and other relevant information;
11, the name of the fund manager, on behalf of the interests of fund shareholders to exercise their litigation rights or implement other
legal acts;
12, other duties prescribed by the CSRC.
(d) commitment to fund managers
1, the fund managers committed to strict compliance with relevant laws in force, regulations, rules,
and the relevant provisions of China Securities Regulatory Commission to establish a sound internal control system, and take effective measures to prevent violations of the existing
effective laws, regulations and rules,
2, the fund managers committed to strictly prevent the occurrence of the following acts:
(1) its own property or property of others confuse the fund assets to invest in securities;
(2) unfair treatment of the different fund managers manage the fund assets;
(3) use of fund assets for the fund share holders seek third party other than interest;
(4) non-compliance to the commitment to fund share holders to bear the loss or gain;
(5) laws, regulations or other acts prohibited by the CSRC.
3, the fund managers committed to strengthening personnel management, strengthening professional ethics, supervision and staff to comply with state constraints
relevant laws, regulations and industry standards, honesty, diligence, do not engage in the following activities:
(1) ultra vires or illegal operations;
(2) violation of the
(3) intentional damage to holders of fund shares or other funds of the legitimate interests of the relevant agencies;
(4) in the information submitted to the CSRC in fraud;
(5) refuse, interfere with, obstruct or seriously affect the China Securities Regulatory Commission supervision according to law;
(6) neglect of duty, abuse of power;
(7) violation of the relevant laws in force, regulations and rules, UBS SDIC
money market fund prospectuses (March 2011 update)
12
relevant regulations, known leaks during his tenure of the securities, the Fund's trade secrets and not public funds according to law
investment content, the fund investment plans and other information;
(8) violation of stock exchange business rules, the use of knock, warehouses and other means to manipulate the market price down to disrupt
market order;
(9) derogatory counterparts to raise their own;
(10) by improper means to seek business development;
(11) contrary to public morality, securities investment funds who damage the image;
(12) in the public disclosure of information and advertisements contained intentionally false, misleading, deceptive;
(13) other laws, administrative regulations and the CSRC prohibited.
(e) commitment to fund managers
1, safeguard the interests of fund shareholders. In the interests of fund shareholders and the company, shareholders and with the shares
east affiliated organizations and individuals such as conflict of interest, the interests of fund shareholders insist on the priority
principles;
2, strictly abide by laws and administrative regulations, the CSRC and the
legal norms and the rules and regulations of the company, not to lift the implementation of fund performance ranking, Yao City, suppress the loss of stock, etc.
stock order of harm, or other violation of the provisions of the operation;
3, independently and objectively perform their duties in making investment recommendations or investment activities, not other dry
pre-, within authorized limits on investment, research and study to make an objective, independent and impartial judge;
4, strict compliance with the relevant provisions of corporate information management and confidentiality clauses in employment contracts should not be used without
public information to seek benefits for themselves or others, shall not violate the relevant provisions of the shareholders, and companies have business
associated institutions, companies and employees of other departments and investment-related transfer undisclosed information;
5, not to use fund assets managed funds or property by any organization and individuals Bianxiang transfer of benefits,
or with others not engaged in harm fund shareholders interests.
(vi) the fund manager's internal control system
1, risk control objectives
(1) the premise of effective risk control, to achieve maximum benefit fund shareholders;
(2) ensure that national laws and regulations, industry regulations and implementation of company rules and regulations;
(3) and establishing the requirements of modern enterprise system, corporate governance structure, a scientific and rational decision-making mechanism, UBS SDIC
money market fund prospectuses (March 2011 update)
13
implementation and monitoring mechanisms;
(4) to a variety of risk control in a reasonable range, security companies to develop a comprehensive strategy and implementation of business objectives
facilities, maintenance of fund shareholders, the company and the legitimate interests of shareholders;
(5) establish effective risk control system to ensure stable operation of the business, mitigate or avoid risks
the company development strategies and business objectives of the interference.
2, a risk control system should follow the principle of
(1) the maximum principle: risk control as a core fund management companies, represents the management company
by management's commitment to the future of the enterprise, company management will always put risk control on the first internal control
status and this should make a solemn commitment.
(2) the principle of time: risk control systems should be developed with a forward-looking, the company opened a new business items
kind of system must be done first, before the operation of the business rules and systems.
16
18 Establishment of the domestic custodian bank in the richest, most mature product line. Cut
20
21 As Information
23
25
26
27
28
29
30
31
32
33
34
35
36
37
38
40
41
42
43
44
45
47
48
49
50
53
54
report.
report.
sequence
sequence
sequence
sequence
8
sequence
sequence The Fund's past performance is not indicative of future performance.
amount.
1 General Assembly Fund Base Recruitment
bond rating of a collection of private equity finance broker net
Select base Ji Jin Chi Fund Selector Fund Investment Evaluation
< p> quality funds recommended weekly Monthly Report
positions Awkwardness of Fund
social security position QFII positions
convenient service fund fund fund code inquiry hotline offers rates
emerging fund draws bonus fund sales inquiries on the information split information
SDIC currency B (128011) units per million income (dollars): 0.6374 last seven income conversion rate% annual return on assets: 2.081 net Date :2011-03-17
UBS SDIC Money Market Fund prospectus
(2011 年 3 Updated November)
Fund Manager: UBS SDIC Fund Management Co., Ltd.
Fund Custodian: Bank of China Ltd UBS SDIC
money market fund prospectuses (March 2011 update)
【Important】 UBS SDIC
Money Market Fund (the SFC permits
18 [2008] No. 1423 approved the raise. The Fund Fund contract on January 19, 2009
came into effect.
fund managers to ensure that the contents of the prospectus is true, accurate and complete. In this prospectus by the
approved by the CSRC, China Securities Regulatory Commission approved the fund raising, does not mean that the impact on the value of the Fund and proceeds to make substantive judgments
or guarantee that investment in the Fund is not without risk.
investment risk, investor subscription (or subscription) fund shares should be carefully read this prospectus,
comprehensive understanding of the risk-return characteristics of fund products, investors should fully consider their risk tolerance,
and subscription (or subscription) Fund will, timing, number of acts such as independent investment decisions. Fund,
managers remind investors of the Fund's investments,
fund operator status and changes in fund net investment risk caused by the investors themselves.
the Fund for money market funds, securities investment funds are highly liquid, low-risk species, and its
expected return and risk are lower than bond funds, hybrid funds and stock funds. The fund invests in stock
money market instruments, including cash, call deposits, short-term financing bills, 1 year or less (including 1 year) bank fixed
deposits, certificates of deposit, bond repurchase, and the remaining term of central bank bills in 397 days (including 397
days) of the bonds and asset-backed securities.
investors to buy money market funds is not equivalent to the funds placed on deposit in a bank or other deposit
models financial institutions, fund managers and other funds of the past performance does not constitute a statement of the fund performance
is guaranteed. Fund managers are committed to fulfill their duties, good faith, diligence and application of the principles of management
fund assets, but does not guarantee that the fund a profit, does not guarantee a minimum income.
information contained in this prospectus deadline for January 19, 2011, in which the investment portfolio, and The deadline for fund performance
December 31, 2010. Relevant financial data are unaudited.
custodian of the Fund in Industrial and Commercial Bank of China February 18, 2011 Description of the recruitment
Books (March 2011 update) was checked.
CONTENTS
I. Introduction ............................................ .................. 1
Second, the definition of ............................................ .................. 2
Third, fund managers .......................................... .............. 7
by the Fund Trustee .......................................... ............. 18
five related services .......................................... ........... 23
VI classification of fund shares ........................................ ........... 48
July, raising funds and 50
August, the fund share purchase, redemption and other registered business ........................... 51
September, the Fund's investment .......................................... ............. 60
ten, the Fund's financing, margin ....................................... .......... 71
XI, the Fund's performance ......................................... ............ 72
second, the Fund's assets ......................................... ............ 74
XIII valuation of fund assets ........................................ ........... 76
fourth, the Fund's income and distribution ....................................... ........ 80
fifth, the Fund's fees and taxes ....................................... ........ 82
sixteen, the Fund's accounting and auditing ....................................... ........ 85
seventh, the Fund's disclosure ........................................ ......... 86
eighteen, the Fund's risk disclosure ........................................ ......... 92
nineteenth, the fund contract changes, termination and liquidation of fund assets ........................... 94
twenty, a summary of the contract funds ....................................... ...... 97
the twenty-first, the Fund Custody Agreement Summary ..................................... .121
XXII, the holders of fund shares services .................................... .. 134
xxiii, other disclosures ....................................... ....... 136
round, storage and access methods prospectus .................................... 137
XXV, reference documents ......................................... ........... 138 UBS SDIC
money market fund prospectuses (March 2011 update)
1
I. Introduction
People's Republic of Securities Investment Fund Law
selling approach
described in this prospectus UBS SDIC money market fund's investment objectives, strategies, risks, rates, etc.
with investors all the necessary investment decisions on matters before making investment decisions investors should carefully read this trick
raised instructions.
commitment to the fund manager of the prospectus does not contain any false, misleading statements or material omissions,
and its authenticity, accuracy and completeness of legal liability.
the Fund under the information set forth in this prospectus apply to raise. The prospectus from the UBS SDIC Fund
Management Limited explanation. The fund managers do not delegate or authorize any other person that is not in the recruitment of
information contained in the book, or any explanation of this prospectus or instructions.
the basis of this prospectus,
fund contract agreed between the parties rights and obligations of the legal documents. Investors from the under the
gold share holders fund shares become
itself that its
other relevant provisions of the rights and obligations, investors more information about the fund share holders of the rights and obligations
should be more access to UBS SDIC
money market fund prospectuses (March 2011 update)
2
II Interpretation
this prospectus, unless the context otherwise requires, the following terms have the following meanings:
Fund or the Fund refers to the basis of
amendments and supplements to any effective
means the People's Republic of China (only the
Hong Kong Special Administrative Region, Macao Special Administrative Region and Taiwan region)
that China is now the effective laws and regulations and promulgated laws, administrative regulations,mac brushes, departmental
regulations and regulatory documents
element refers to the lawful currency of Renminbi yuan
its updated prospectus refers to
disclosure of the Fund's fund manager and fund custodian, the relevant service unit
agencies, fund raising, fund the contract into effect, the fund share transactions
subscription and redemption of fund shares, the Fund's investment, the Fund's performance,
fund assets, the valuation of fund assets, the Fund income and distribution, based
payment fees and taxes, the Fund's information disclosure, risk disclosure, funds
termination of the contract and fund liquidation of assets, the fund summary of the contract,
summary of the Fund trust agreement, holders of fund units of service,
other disclosures, the prospectus of the storage and access methods, equipment
investigation files of information concerning the Fund, for fund investors choice and decision
be whether to fund applications for subscription or purchase, solicitation of an offer document, and
its regular update
Escrow Agreement means the fund manager and fund trustee signed the UBS SDIC
money market fund prospectuses (March 2011 update)
3
market fund trust agreement
Offer Notice refers to
then
means the China Securities Regulatory Commission China Securities Regulatory Commission
banking regulators refer to the China Banking Regulatory Commission or other authorized by the State Council
institutions
fund managers that UBS SDIC Fund Management Co., Ltd.
UBS Global AM that UBS Global Asset Management
fund custodian means the Industrial and Commercial Bank of China
fund share holders means the
share investors
fund distribution agencies means
made fund distribution business qualification, and signed a fund with the fund managers sell
sales agency agreement with the service, to handle the sale of the Fund, purchase, redemption
back and other funds the agency business
sales organizations that fund managers and fund distribution agencies
fund sales outlets that direct sales outlets of fund managers and fund affiliate network affiliate organizations
registered business that fund registration, depository, clearing and settlement business, which specifically includes
investors fund account management, fund share registration, clearing and base
payment confirmations, pay dividends to establish and keep the fund share holders
roster
fund registration institutions that UBS SDIC Fund Management Limited or its delegate shall comply with the other
pieces of business for fund registration institutions
and obligations of legal subjects, including fund managers, fund custodian
and fund share holders
individual investors means the conditions prescribed by the laws and regulations can invest in open-end securities investment UBS SDIC
money market fund prospectuses (March 2011 update)
4
funds of natural persons
institutional investors that can invest in line with laws and regulations of open-end securities investment funds
legally registered in China, and existing or established by the relevant departments for approval
established and existing investors, the cause of corporate and social groups, and other
Organization
means a qualified foreign institutional investors
and relevant laws and regulations to invest in China raised legitimate
securities investment funds outside of China's fund management institutions, insurance companies,
securities companies and other assets management institutions
investors that individual investors, institutional investors and qualified foreign institutional investors and
laws and regulations or the CSRC allowed to buy open-end securities investment fund Other investors in the general
the effective date of the fund raising fund to contract law and the
fund managers to employ statutory capital verification and complete records of the fund for hand
continue to obtain written confirmation from the date of the CSRC
raised the index from the date of sale of fund shares no more than 3-month period
Funds of the renewal refers to the
day / day of that calendar day
month means calendar month
days refers to the Shanghai Stock Exchange and Shenzhen Stock Exchange trading day of normal
open day for sales organizations that share the fund purchase and redemption of the work of business
Day
T date on which the purchase, redemption or other funds for the filing date of the business
T + n T from the date of the date on which the first n days (not including the T day)
subscription period that investors in the fund raising fund to buy shares of the Fund's line
as
sale means the fund raising period, the sales organization selling the fund to investors the behavior of fund shares
UBS SDIC
money market fund prospectuses (March 2011 update)
5
that fund investors purchase fund sales outlets under the provisions of the procedures, to the Fund
managers to buy fund shares behavior. The Fund's daily purchase from the
gold contract
redemption fund investors fund sales outlets under the provisions of the procedures, to the Fund
managers to sell fund shares behavior. The Fund's daily redemption from
gold contract
huge redemption in a single opening date, the fund's net redemptions of fund shares applications (redemption
total number of applications with fund switching back to the application for transfer after deducting the share of the total number of
purchase and fund switching in the total number of applications into the total number of shares after the application of more than
amount) on a Japan fund over 10% of the total share of the case
fund accounts that fund registration institutions opened to investors, investors used to record
hold fund managers managed open-end fund share accounts of the situation
refers to the sales organization trading account opened for investors investors through the sale of records
agencies Making fund of funds arising from transactions and balances of the situation changes in the share of
account status
custody transfer of the investors to hold under the same fund account from one fund shares
a trading account trading account into another business
Fund Switching refers to the investors to apply to the fund managers will be held by the Fund,
managers manage any open-end fund (a fund transfer) all or part of
sub-fund shares, fund managers into the management of any other open
Fund (transferred to the Fund) is the behavior of fund shares
regular fixed investment plans of the investors through the sales organization to apply the agreed charge per issue
day, charge amount and the deduction method, the sales agency agreement in each button
investors money at the designated bank account automatically charge and fund applications
an investment share of applications
sales service fee means the fund for continued sales and service fees fund share holders
use, the extra cost is deducted from fund assets, belonging to the Fund's operating expenses
with UBS SDIC
money market fund prospectuses (March 2011 update)
6
fund share class of fund shares of the Fund is divided into two levels: A class of fund shares and B class Jijin were
amount. Divided into two different funds fund share code, receive different
sales service fee and the Fund were announced net income per million and 7 years of
yield
A class of fund shares means the annual rate of 0.25% sales service fee provision level of fund shares
B-class fund shares means the 0.01% rate of provision for sales of shares in the fund rating service charges
amortized cost valuation method that shows the object to the cost of buying, according to the agreed interest rate or coupon rate
and consider when buying premium and discount, in accordance with its remaining term
accrued daily gain effective interest method Net income per million Jijin
means calculated in accordance with relevant laws and regulations of every million copies of the Fund at net
7 Day Year of the rate of return refers to the last 7 days (including holidays) the commuted annual income return on assets
income of the Fund of Funds investment income bonds, notes, investment income, trading cards
coupon post, bank deposit interest and other income and financial application of the Fund
bring production costs or cost savings
fund assets means the funds which the value of various securities and bills, bank deposits of principal and interest
and subscription receivable of the Fund and other investment models Jijin the price formation the sum of
net assets of the Fund means the total assets of the Fund's net assets after deducting the value of liabilities
fund assets valuation assessment refers to the value of the Fund's assets and liabilities to determine the Fund's assets
the process of the net
designated media refers to the China Securities Regulatory Commission to disclose the information specified in the newspapers and the Internet
Web Sites Force majeure means the parties to the contract funds
unforeseeable, unavoidable and insurmountable
objective events UBS SDIC
money market fund prospectuses (March 2011 update)
7
Third, fund managers
(a) of the fund manager profiles
Name: UBS SDIC Fund Management Co., Ltd.
English name: UBS SDIC FUND MANAGEMENT CO., LTD
Address: Jin Tian Road, Futian District, Shenzhen 4028 trade center, Wing Super 46 level
Office Address: Jin Tian Road, Futian District, Shenzhen 4028 trade center, Wing Super 46 level
Legal Representative: Meng Qian
set up date: June 13, 2002
approved the establishment of institutions: China Securities Regulatory Commission
approved the establishment of the text: China Securities Regulatory Commission Securities Regulatory Commission Fund words 【2002】 25
organizational form: Limited Liability Company
Registered capital: RMB One
survival period: Continuing operations
Contact: Young Man, Chao
Tel: (0755) 83575992,83575994
Fax: (0755) 82904048
Ownership Structure: Name of shareholder stake
51% SDIC Trust Co., Ltd.
Swiss Bank Corporation (UBS AG) 49%
Total 100%
(b) Key Personnel
1, members of the Board
Mr. Qian Meng, Chairman, Chinese, MA, is currently vice president of the State Development Investment Corporation, National Investment Trust
Company Limited. He was general manager of China Investment Asset Management, Anhui Province, deputy secretary of Luan City, Industrial
fund management company director, assistant president of the State Development Investment Corporation, general manager of financial investment, operation of the Vice UBS SDIC
money market fund prospectuses (March 2011 update)
8
Ren, Director, National speculative Light Co., Ltd. business manager, deputy general manager of the State Development Investment Corporation Electrical and textile industry
Division Business Manager, National Electrical and Mechanical Engineers Textile Investment Corporation, Deputy Commissioner, State Planning Commission cadres, Director of Division
members.
Mr. Ling Xinyuan, director, Chinese, master, senior economist. Current Swiss Bank (Hong Kong) International
Asset Management Managing Director, Chairman of China. He was chairman of Huaxia Fund Management Co., Ltd., Beijing
Securities Company Ltd., China Securities Co., Ltd., executive vice president, president of China Iron and Steel Industry & Trade Group
assistant, assistant president of China Metallurgical Import and Export Corporation, Beijing International Trust and Investment Corporation, vice president of operations.
Miss Wang Bin, director, Chinese, master, senior economist. National Investment Trust Limited Board of Directors currently
secretary. Served as UBS SDIC Fund Management Co., Ltd. Vice President and Secretary of the Board, the National Investment Trust Limited
Secretary of the Board and Chief Manager of Asset Management, Beijing International Power Development & Investment Company, Beijing Jingneng Thermal Power Company of
Limited Secretary of the Board.
Mr. Dong Richeng, Director, Hong Kong nationals, the United Kingdom sheffield university degree, the current UBS Global Information
asset management company managing director for China. UBS Global Asset Management Company served as district sales manager in China, the implementation of
Director, UBS Global Asset Management hedge fund chief operating officer of Asia Pacific, UBS Global Asset Management Taiwan General
management, the Hong Kong head of UBS Wealth Management, UBS SDIC Fund Management Co., Ltd. on behalf of the General Manager and Chief Operating
transport officer, Merrill Lynch Investment Managers, Asia Pacific Chief Operating Officer, American International Group, the financial and the Asia Pacific region
operational areas such as the number of key positions.
Mr. Li Ziyi, independent director, U.S. citizen, MBA, retired. Former Dun & Bradstreet Consulting
(Shanghai) Co., Ltd. General Manager,mac makeup, U.S. Sales and Marketing Director of Motorola, the U.S. high-Visa International
-level managers, chief representative in China, project director.
Mr. Cui Liguo, independent director, Chinese, LL.M., is currently in Beijing Guantao Law Firm Management
Commission, the Law, he served as the All China Lawyers Association, Committee on Financial Securities, Financial Street Chamber of Commerce
executive director and Deputy Secretary General, respectively, serve as APT Satellite Holdings Limited, National Investment Company Limited shares in the new set of energy
Division, Nuclear Science and Technology Industrial Co., Ltd. valve is the Soviet Union, China Nuclear International Limited and the shares of a limited four-dimensional map of new technology
independent directors.
Mr. Li Zheping, independent director, Chinese, Master of Finance, the incumbent general manager of the contemporary magazine financiers,
independent directors of CITIC Bank. Letter asset evaluation system was chairman, chief editor of China Securities theory, China
financial training center assistant. UBS SDIC
money market fund prospectuses (March 2011 update)
9
2, Supervisory Board members
Mr. Ye Jinhua, Supervisory Board, China Hong Kong nationals, Australia University of Technology, Bachelor
Western Australia, now UBS Global Asset Management, Asia Pacific Chief Financial Officer, Managing Director
management. UBS Global Asset Management served as Executive Director of the Ministry of Finance, Chief Financial Officer, and worked in Hong Kong-based Hang Seng Bank and Bank
Bank and other institutions holding important positions.
Show Fei, supervisors, Chinese, Master, now SDIC Trust Asset Management Trust Investment Co., Ltd.
manager. Former State Development and Investment Department of a company's strategic development assistant project manager, the National Investment Trust Co. Ltd.
REIT Asset Trust Asset Management Operations and the Department of two project managers.
Miss Huang Zhenjiu, supervisors, Chinese, master's, economists, the current director of the Company to monitor the Internal Audit Department. Had
he became financial secretary to the Board and Fund Management Company Ltd. to monitor the Internal Audit Department Director, Hebei Securities Co., Ltd. Shenzhen
vice president of business Shenzhen, China Travel Trust & Investment Co., Ltd general manager of the Shenzhen securities business, Liaoning, China Construction Bank
Province Trust and Investment Corporation Deputy General Manager of Shenzhen securities business departments.
3, senior management and the Inspector General
Shang Jian, General Manager, Chinese, Finance at the University of Connecticut Dr. China Securities Regulatory Commission was
Fund Department, Deputy Director, Shanghai Stock Exchange, Deputy Director of Development Strategy Committee, Hua An Fund Management Co., Ltd. Vice
general manager, Yinhua Fund Management Company Limited.
Mr. Liu Chunliang, Vice President, Chinese, Bachelor of Economics, Chinese Institute of CPAs and the Chartered
Certified Accountants (ACCA) members. Beijing Construction Engineering Group Corporation, a former accountant, Bode Hao (BDO) Kwan Wong Tan
side international accounting firm of Accountants, the China Securities Regulatory Commission inspectors Boshi Fund Management Co., Ltd.
monitor the person in charge of Legal Department, Inspector General.
Mr. Sheng Bin,vibram 5 fingers, Deputy General Manager, Chinese, Columbia University, Master of International Relations. Has 任国信 Securities and investment banking Beijing
project leader, Vanguard Funds Management Limited Financial Engineering Director, Assistant General Manager
chief marketing officer.
Road, Mr. Bo, Deputy General Manager, Chinese, bachelor, accountant. China Communications, a former Beijing Development Corporation
financial center accounting in charge of accounting, investment and construction of the National Industrial Company projects the Ministry of Development, Trade,blackhawks jerseys, Finance Department Business
service charge and accounting charge, the State Development and Investment Company Capital Division Finance Department business executives, the National Investment Trust Co.
Corporate Finance, Asset Management, General Management Department.
package Aili President, Inspector General, Chinese, MA Columbia University. BlackRock Asset Management was UBS SDIC
money market fund prospectuses (March 2011 update)
10
Co. Asset Management Accounts Department, Ministry of mutual funds, business executives, strategic development Yinhua Fund Management Co., Ltd.
Director.
4, the Fund Manager
Mr. Han Haiping, deputy director of fixed-income group (presiding), Chinese, by the University of Science and Technology
Master of Economics, management science and computer science and technology dual degree, 8 years of securities experience. U.S. investment management
Management Research Association (CFA Institute) and the Global Association of Risk Professionals (GARP) member, is a Chartered Financial Analyst
(CFA) and Financial Risk Manager (FRM) qualification, a former Department of China Merchants Fund Fund Management the number of analysts, 2007
joined the company in May, in the fixed income research and investment work, November 1, 2007 to 2008 3
Rongxin 28 securities investment funds of any fund manager, 3 April 2008 he was appointed by the steady increase in profits Fund Fund
management, January 19, 2009 he was appointed fund manager of the Fund.
5, Investment Committee member names and positions
(1) Investment Committee Chairman: Mr. Shang Jian, General Manager
(2) Investment Committee Members:
① Mr. Yuan Ye: Fund Investment Director, Fund Manager
② Mr. Xu Weizhe: Deputy Director of the Department of fund investors, fund managers
③ Mr. Han Haiping: Associate Director of fixed income group, fund managers
④ Mr. Liu Xinyong: Assistant General Manager and Director of investment accounts, investment managers
⑤ Mr. Chen Xiangkai: Deputy Director of Investment accounts, investment managers
⑥ Mr. Deng Yuehui: Deputy Director of Investment accounts, investment managers
(3) the company inspector to attend Investment Committee meetings.
6, the staff does not exist between near relatives.
(c) the fund manager's duties
1, according to the law to raise funds for or commissioned by the China Securities Regulatory Commission certified copies of other agencies to handle funds
amount of sale, purchase, redemption and registration;
2, fund records;
3, on different funds managed by the property separately managed account, investment in securities;
4, in accordance with the
distribution of income share holders of gold; UBS SDIC
money market fund prospectuses (March 2011 update)
11
5, the fund accounting and fund financial accounting report preparation;
6, the preparation of quarterly, half yearly and annual fund reports;
7, calculated and announced by the relevant provisions of the net assets of the Fund to determine the fund shares purchase and redemption prices;
8, for the property management business with the fund of information related disclosures;
9, proposed the convening of the fund share holders and to convene the General Assembly;
10, save the fund management business activities, property records, account books, statements and other relevant information;
11, the name of the fund manager, on behalf of the interests of fund shareholders to exercise their litigation rights or implement other
legal acts;
12, other duties prescribed by the CSRC.
(d) commitment to fund managers
1, the fund managers committed to strict compliance with relevant laws in force, regulations, rules,
and the relevant provisions of China Securities Regulatory Commission to establish a sound internal control system, and take effective measures to prevent violations of the existing
effective laws, regulations and rules,
2, the fund managers committed to strictly prevent the occurrence of the following acts:
(1) its own property or property of others confuse the fund assets to invest in securities;
(2) unfair treatment of the different fund managers manage the fund assets;
(3) use of fund assets for the fund share holders seek third party other than interest;
(4) non-compliance to the commitment to fund share holders to bear the loss or gain;
(5) laws, regulations or other acts prohibited by the CSRC.
3, the fund managers committed to strengthening personnel management, strengthening professional ethics, supervision and staff to comply with state constraints
relevant laws, regulations and industry standards, honesty, diligence, do not engage in the following activities:
(1) ultra vires or illegal operations;
(2) violation of the
(3) intentional damage to holders of fund shares or other funds of the legitimate interests of the relevant agencies;
(4) in the information submitted to the CSRC in fraud;
(5) refuse, interfere with, obstruct or seriously affect the China Securities Regulatory Commission supervision according to law;
(6) neglect of duty, abuse of power;
(7) violation of the relevant laws in force, regulations and rules, UBS SDIC
money market fund prospectuses (March 2011 update)
12
relevant regulations, known leaks during his tenure of the securities, the Fund's trade secrets and not public funds according to law
investment content, the fund investment plans and other information;
(8) violation of stock exchange business rules, the use of knock, warehouses and other means to manipulate the market price down to disrupt
market order;
(9) derogatory counterparts to raise their own;
(10) by improper means to seek business development;
(11) contrary to public morality, securities investment funds who damage the image;
(12) in the public disclosure of information and advertisements contained intentionally false, misleading, deceptive;
(13) other laws, administrative regulations and the CSRC prohibited.
(e) commitment to fund managers
1, safeguard the interests of fund shareholders. In the interests of fund shareholders and the company, shareholders and with the shares
east affiliated organizations and individuals such as conflict of interest, the interests of fund shareholders insist on the priority
principles;
2, strictly abide by laws and administrative regulations, the CSRC and the
legal norms and the rules and regulations of the company, not to lift the implementation of fund performance ranking, Yao City, suppress the loss of stock, etc.
stock order of harm, or other violation of the provisions of the operation;
3, independently and objectively perform their duties in making investment recommendations or investment activities, not other dry
pre-, within authorized limits on investment, research and study to make an objective, independent and impartial judge;
4, strict compliance with the relevant provisions of corporate information management and confidentiality clauses in employment contracts should not be used without
public information to seek benefits for themselves or others, shall not violate the relevant provisions of the shareholders, and companies have business
associated institutions, companies and employees of other departments and investment-related transfer undisclosed information;
5, not to use fund assets managed funds or property by any organization and individuals Bianxiang transfer of benefits,
or with others not engaged in harm fund shareholders interests.
(vi) the fund manager's internal control system
1, risk control objectives
(1) the premise of effective risk control, to achieve maximum benefit fund shareholders;
(2) ensure that national laws and regulations, industry regulations and implementation of company rules and regulations;
(3) and establishing the requirements of modern enterprise system, corporate governance structure, a scientific and rational decision-making mechanism, UBS SDIC
money market fund prospectuses (March 2011 update)
13
implementation and monitoring mechanisms;
(4) to a variety of risk control in a reasonable range, security companies to develop a comprehensive strategy and implementation of business objectives
facilities, maintenance of fund shareholders, the company and the legitimate interests of shareholders;
(5) establish effective risk control system to ensure stable operation of the business, mitigate or avoid risks
the company development strategies and business objectives of the interference.
2, a risk control system should follow the principle of
(1) the maximum principle: risk control as a core fund management companies, represents the management company
by management's commitment to the future of the enterprise, company management will always put risk control on the first internal control
status and this should make a solemn commitment.
(2) the principle of time: risk control systems should be developed with a forward-looking, the company opened a new business items
kind of system must be done first, before the operation of the business rules and systems.
16
18 Establishment of the domestic custodian bank in the richest, most mature product line. Cut
20
21 As Information
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report.
report.
sequence
sequence
sequence
sequence
8
sequence
sequence The Fund's past performance is not indicative of future performance.
amount.
1 General Assembly Fund Base Recruitment
